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ROOT CAUSE ANALYSIS

Lydiah Otienoh06/07/13

What is RCA

An analytical technique used to determine the basic underlying reason that causes a variance or a defect or a risk. (PMI, 2013)

Structured process designed to help an organization define problems that caused past events, understand their causes and prevent recurrence. (Hughes, Hall and Rygaard, 2009)

Examining the nature of why risks are happening (or may happen) and what can be done to alter the environment to minimize or eliminate the cause. (Pritchard, 2010)

It helps identify what, how and why something happened thus preventing recurrence. (Rooney, 2004)

What are root causes

An initiating cause that gives rise to a causal chain which may give rise to risks. (PMI, 2009)

Rooney, J (2004) defines root causes as being;

Specific underlying causes,

Can reasonably be identified,

Management has control to fix them, and

Those for which effective recommendation for preventing recurrence can be generated

Application of RCA

Identifying risks

Quantitative Risk Analysis

Risk response planning

Steps involved in RCA

1. Define the problem

2. Define a causal understanding and analyze cause/effect

3. Identify solutions –a) analyze solutions b) select the best solutions

4. Design metrics and track effectiveness

1. Define the problem

This is the what statement, referred to as the primary effect in an RCA

Define the type and scope of risk that needs to be mitigated

Draft a formal statement that defines the problem, where and when it occurred (including frequency), and its significance

2. Define a causal understanding and analyze

cause/effect This is the why statement.

Create a cause-and-effect chart to understand why a problem happened and the evidence proving it.

What are the causal relationships among all the interdependent sets of action and conditional causes?

What are all the risk agents and conditions under which the risk agents could occur and cause an adverse outcome?

Conduct a cause-and-effect analysis of the major cause paths on the chart to identify common causes

2. Cont.

Cause 1

Cause 2

Cause 3

Cause 4

Problem

3. Identify solutions

A) analyze solutions

Evaluate the potential effectiveness of various solutions relative to the cost of the problems and the solution’s probability for success.

Focus more on identifying the risk of specific individual causes rather than generic categories of causes. (Rooney, 2004)

Identify solutions

B) select the best solutions

Select the best solutions using predetermined criteria for example

buy-in from those responsible for implementing the new solution,

best value/return on investment/cost benefit,

will it address multiple causes and common causes,

how quickly can it be implemented to immediately reduce vulnerability,

is it long term and does it increase the certainly of preventing recurrence. Etc.

4. Design metrics and track effectiveness

Properly prescribed solutions must take shape in the form of a specific action, accomplished by a specific person(s), within a specific timeframe

Each solution must be assigned a metric and a deadline by which it will be tracked to ensure that it’s effective in preventing the cause(s) it is acting on (Gano, 2007)

Once the success of a solution is confirmed, it can be ideally implemented where the same causes are creating risk

The more causes are controlled, the greater the probability that problem recurrence is reduced

Pros & Cons of RCA

PROS CONS

It uncovers relationships between causes and symptoms of problems

Why wait for an incident to perform a root cause analysis?

Works to solve issues at the root itself

You eliminate taking action on possible causes

Provides tangible evidence of cause and effect and solutions

Delays a response to the last responsible moment when the actual root cause of an effect is identified.

A learning process to follow for thorough understandings of relationships

Conclusion

Although RCAs are often considered reactive to an incident or problem, they are actually proactively working to eliminate risk and prevent the same problem from recurring. It can be valuable to perform RCAs on hypothetical problems or scenarios an organization is likely to encounter.

When one company encounters a problem, others from within the same industry and beyond can learn from it lessons that include;

what incidents to analyze, the circumstances that cause it to happen, solutions to be proactively implemented to eliminate those circumstances and avoid it.

References

Gano, D.L. (2007). Apollo root cause analysis: A new way of thinking (3rd ed.) Yakima, WA: Apollonian Publications

Hughes, B., Hall, M., Rygaard, D. (2009). Using root-cause analysis to improve risk management. Professional safety magazine by the American Association of Safety Engineers

Pritchard, C. (2010). Risk management: Concepts and guidance. Arlington, VA: ESI International

Project Management Institute (2013). A guide to the project management body of knowledge. (5th Ed.). Newton Square, PA: Author.

Project Management Institute (2009). Practice Standard for Project Risk Management. Newton Square, PA: Author.

Rooney, J., (2004). Root Cause Analysis for Beginners. Quality progress magazine, vol. 37(7). The H.W. Wilson Company